FINRA
Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.
UBS Must Pay $371K to Clients: FINRA Panel
By Jeff BermanA FINRA arbitration panel ruled in favor of UBS clients, who alleged the firm's options-trading strategy exposed them to significant risks.
March 29, 2021
10 Worst Financial Advisors in America: 2020Last year's worst advisors allegedly ran Ponzi schemes, stole from the elderly and veterans, and one was even charged with murdering a client.
March 22, 2021
FINRA Fines Ex-JPMorgan Broker Who Split Trades to Boost CommissionsThe broker broke 1,106 orders into more than more than 7,500 smaller trades, according to FINRA.
March 19, 2021
Human Capital: Susan Schroeder Says Reg BI Enforcement Actions LoomThe ex-FINRA enforcement chief also weighs in on what Gary Gensler's likely arrival at the SEC means for Reg BI.
March 19, 2021
FINRA's Top 5 Fine Categories in 2020Overall, FINRA reported $57 million in fines in 2020, a 43% increase from 2019.
March 17, 2021
Reg BI Enforcement Actions Coming Soon, ex-FINRA Enforcement Chief SaysA preview of Human Capital's interview with former FINRA enforcement chief Susan Schroeder.
March 15, 2021
FINRA Fines Ex-Waddell & Reed Broker Who Took Client Info to Securities AmericaThe ex-Waddell rep shared his clients' nonpublic personal info with a third-party vendor, FINRA says.
March 09, 2021
FINRA Looks at Reg BI in Light of GameStop FrenzyFINRA will consider whether Reg BI applies to game-like features in trading apps, CEO Robert Cook told Sen. Elizabeth Warren.